Annual Report of the SEC.U.S. Government Printing Office |
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Página 10
... power and influence over companies whose equity securities are held by institutions or held for the benefit of persons whose investments are managed by institutions . Among the Commission's initial conclusions and recommenda- tions were ...
... power and influence over companies whose equity securities are held by institutions or held for the benefit of persons whose investments are managed by institutions . Among the Commission's initial conclusions and recommenda- tions were ...
Página 11
... interest , competition and economic power that are generated by vided in combination with others at fixed rates ; lower such structures : unbundling of certain services currently pro- THIRTY - SEVENTH ANNUAL REPORT 11.
... interest , competition and economic power that are generated by vided in combination with others at fixed rates ; lower such structures : unbundling of certain services currently pro- THIRTY - SEVENTH ANNUAL REPORT 11.
Página 13
... power , were they to act together , to exercise control or influence over a number of portfolio companies , the Study found that except in the case of transfers of corporate control ( that is , takeover situations ) , where the ...
... power , were they to act together , to exercise control or influence over a number of portfolio companies , the Study found that except in the case of transfers of corporate control ( that is , takeover situations ) , where the ...
Página 33
... power , after notice and opportunity for hearing , to issue a " stop - order " suspending the effectiveness of a registration statement if it finds that material representations are misleading , inaccurate or incomplete . In certain ...
... power , after notice and opportunity for hearing , to issue a " stop - order " suspending the effectiveness of a registration statement if it finds that material representations are misleading , inaccurate or incomplete . In certain ...
Página 40
... power , after notice and opportunity for hearing , to issue a stop order " suspending " the effectiveness of a registration statement which includes an untrue statement of a material fact or 17 Securities Act Release No. 5141 ( April 19 ...
... power , after notice and opportunity for hearing , to issue a stop order " suspending " the effectiveness of a registration statement which includes an untrue statement of a material fact or 17 Securities Act Release No. 5141 ( April 19 ...
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36th Annual Report accounting action adopted alleged amended American Stock Exchange amicus curiae amount antifraud application assets Association Bank broker or dealer broker-dealers brokerage capital cash Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors customers debtor defendants directors disclosure distribution district court dollar effective enforcement Exchange Act Release exemption Federal securities laws filed fiscal Holding Company injunction instituted interest investment adviser Investment Company Act investors involved issued issuer June 30 listed million mission mutual fund NASD NASDAQ national securities exchange NYSE Office operations over-the-counter pany pending percent persons principal proceedings proposed proxy purchase registered investment registration statement Regulation reorganization rules Securities Act Release Securities Exchange Act security holders self-regulatory shareholders sion staff stockholders subsidiary suspended tion Total trading transactions trustee underwriter unit investment trusts violations York Stock Exchange